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The lapses in record retention, fingerprinting and failing to oversee the drafting of consolidated reports led to 1.5 million costumer communications being deleted and a former rep running a Ponzi scheme, FINRA claimed.
The former TDAI executive spent the last days of 2020 studying for his CFP exam and taking a hard look at the regulatory landscape that faces financial planners in 2021.
The settlement is the first action coming from the regulatory agency's 2019 self-reporting initiative for failures to oversee 529 plan share class recommendations.